Market regulation · 09/08/2010

Kohlberg Capital Corporation; Notice of Application

Summary of the Application: Kohlberg Capital Corporation ("Kohlberg Capital") requests an order to permit it to issue restricted shares of its common stock (i.e., stock that, at the time of issuance, is subject to certain forfeiture restrictions, and thus is restricted as to its transferability until such forfeiture restrictions have lapsed) ("Restricted Stock") to its directors who are not also employees or officers of Kohlberg Capital ("Non-Employee Directors") under the terms of its 2010 Amended and Restated Non-Employee Director Plan (together with any Kohlberg Capital executive compensation plan that did, does, or may in the future, exist, "Plans").